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FCA Investigations

The Financial Conduct Authority (FCA) has extensive powers to take enforcement action, or even bring criminal prosecutions, against individuals and businesses who report to the regulator. If you are under investigation by the FCA, having specialist legal advice on your side is essential.

 

Our specialist solicitors are available to provide immediate representation if you or your firm are subject to an FCA investigation. From the outset of the investigation taking place, we will provide tailored support that allows you to clearly understand your position and the steps that need to be taken.

We have specialist expertise in handling FCA investigations, which means we are in the best possible position to advise you on your options and the approach to take in order to achieve the best possible outcome.

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Why choose JD Spicer Zeb?

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Recent Cases

There is limited recourse for you if you are falsely accused. Click a selection of the cases we have covered. The best thing you can do is to instruct an excellent solicitor from the outset.

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Every FCA investigation is unique, which serves to emphasise how important it is to obtain legal advice that is tailored to your personal circumstances.

Our FCA investigation solicitors provide:

  • 24/7 legal support in person and over the phone, 365 days a year
  • Representation anywhere in England or Wales
  • Clear, effective legal advice in any language (see our languages spoken)

How can we help?

Common questions

We always work with the most experienced and best leading UK barristers, KCs (Kings Counsel). We cover all criminal cases 24/7 at the police station and court. Offices in London, Birmingham, and Manchester cover cases across England and Wales. We can offer Legal Aid and affordable Private fee agreements. We can see you the same day, including virtually. Our Senior Partners supervise all of our cases.

How quickly do you respond?

We respond quickly even during out of hours. We do not get our work by paying for online adverts but based on the fact that few criminal law firms can match our 45 years of experience. Most of our cases are still from word-of-mouth recommendations from satisfied clients. We are called daily by dissatisfied clients from firms with less experience than us. We respond very quickly to new enquiries. We know what clients seek and so we update clients rapidly.

Can you get cases dropped?

Yes, read about the recent cases we've helped our clients with here.

We always keep you updated and give straightforward advice. We will get cases dropped early where the case is weak or should not be prosecuted. We will be upfront with you about where you can benefit from a good result with an early guilty plea, such as a discount on your sentence. As we work on cases across all levels with clients from all walks of life, we are excellent at giving clear, spot-on advice. As an established firm, we can allocate a whole team to your case often at short notice to secure evidence to minimise the damage to you. 

Have you won any awards?

OUR PROFESSIONAL BODY THE LAW SOCIETY AWARDED US IN OCTOBER 2020 WITH THE EXCELLENCE IN CLIENT SERVICE AWARD AND STATED - 

"JD Spicer Zeb demonstrated a clear commitment to client service through their work with vulnerable and diverse individuals in what can be severely traumatic circumstances".

Do you offer free consultations?

Where it is possible, we aim to provide an initial consultation to you. If we can speak to you, we can if required inform you about  –

  • Whether we can take the case on and our relevant experience.
  • Public and private funding benefits.
  • Assistance in applying for legal aid where we are likely to accept instructions.
  • An outline of options in police interview only. We will not advise you on which option to adopt.
  • Providing our free written guide explaining the police station process.
  • The gravity of routine and day-to-day offences you face.
  • Consequences of not attending the court or police station.
  • Consequences of interfering with any witnesses.
  • Retaining any evidence in support of your case.
  • If possible an outline of the elements of the offence that the police or CPS must prove.
  • This consultation will normally be by telephone or email and will only be for as long as we deem necessary to establish if we can act for you. If we cannot usefully give you any advice in this manner then we will not continue with the consultation. We will not discuss the case in depth for you to be able to decide on your plea or any significant aspect of the case, as this cannot be undertaken informally.
  • Referring you, if possible, to other firms for matters out of our specialism or if we cannot help.

Consultations do not apply to the following cases –

  • If we do not intend to take the case on.
  • Road Traffic cases, drink driving, drug driving, driving bans, speeding, no insurance, mobile phone use, points etc.
  • In all cases where we do not have the capacity to take your case or the availability of suitably qualified staff to provide an initial free consultation. This is applicable in all cases but especially where a more senior lawyer is required because of your personal needs or the complexity of the case.
  • Harassment/stalking/ coercive behaviour/malicious communications or road traffic cases and most sensitive cases. These cases are often too complicated to assess in short consultations.
  • The locations concerned may be too distant to represent you adequately or it may not be cost-effective for you or us.
  • The case is too complicated to assess or raises various charges or facts, complexity, or history to be considered informally or in a short consultation.
  • In most Legal aid transfers where legal aid is granted to another firm except in very grave cases, we may assess the case and merits for a transfer.
  • If your relationship has broken down with your existing solicitor or several solicitors.
  • If you have been released under investigation and have already had a police station attendance. 
  • If you hold legal aid with another firm and seek a second opinion.
  • If you are calling on behalf of the client as a friend or family member unless you have full authority and full facts.
  • To businesses.
  • Advising whether you were given good advice by your other solicitor.
  • Whether to decide to plead guilty or not guilty.
  • Whether you have an arguable defence in law or factually complicated defences.
  • Any advice you have had after your first court appearance.
  • Any advice on appeal on conviction or sentence.
  • If we feel we are unable to communicate with you.
  • If we are likely to be conflicted or breach our professional rules.

Speak to our FCA investigation solicitors today

For a free initial consultation on your legal position and the available options, contact our local offices in London, Birmingham or Manchester.

For urgent advice at any time of day or night regarding FCA investigations, please call our Emergency Number 07836 577 556.

You can also email: solicitors@jdspicer.co.uk or fill out our online enquiry form and we will get back to you quickly.

Our expertise with FCA investigations

Our team have over 45 years of experience in handling all manner of regulatory and criminal law matters, including those stemming from FCA investigations. We have a combination of expertise and experience which we are able to put to good use when supporting individuals and firms who are under investigation from the FCA.

FCA investigations involve many moving parts and can be extremely complex. Depending on the circumstances, the FCA may see fit to investigate various allegations, including money laundering, insider dealing and serious fraud. Having access to specialist support during these proceedings is essential.

Our FCA investigation solicitors are able to provide immediate advice and representation on a 24/7 basis to anyone who is subject to an investigation by the FCA.

We have a strong track record of achieving positive results for our clients, including during any court proceedings that take place in the wake of an investigation. During these proceedings, we will be able to provide the representation you need at every stage.

We are accredited by the Law Society for Criminal Litigation and have also achieved Lexcel accreditation, reflecting the high standards of our legal practice.

As a testament to our expertise and high standards of client care, our FCA investigation solicitors frequently receive referrals and recommendations from clients who have been satisfied with our legal services. Our team have been well-established for over 45 years.

Commonly asked questions about FCA investigations

What is the FCA?

The Financial Conduct Authority (FCA) is the official conduct regulator for financial services forms and financial markets in the UK. The FCA regulates that conduct of approximately 50,000 firms in the UK. The FCA’s role is to ensure that financial markets remain far and effective for consumers.

Firms and individuals are required to be authorised or registered by the FCA in order to carry out certain activities. For authorisation to be granted, certain criteria must be fulfilled.

The FCA continue to supervise firms to ensure that they continue to meet the standards that are set after authorisation. If for any reason a firm or individual fails to meet these standards, the FCA has a range of enforcement powers at its disposal.

The FCA was set up in 2013, replacing the regulation services provided by the outgoing Financial Services Authority (FSA).

I have received a Notice of Appointment of Investigators from the FCA. What does this mean?

There are several stages to a FCA investigation, one of which being the Notice of Appointment of Investigators. Prior to this, several steps will be taken by the FCA.

At the outset of an investigation, a referral will occur, where the FCA is notified of a potential breach of their rules and regulations. After a matter is referred for investigation, the FCA’s Enforcement and Market Oversight Division will open a new case.

After the case is opened, the FCA nominate investigators. This leads to a Notice of Appointment of Investigators being sent to the individual or business under investigation.

If you have been sent a Notice of Appointment of Investigators, you can then expect scoping discussions to take place, which will typically outline while investigators have been appointed, what the FCA investigation will involve, the process that will take place and the approximate timing of each step.

The FCA may not explain everything in detail, either as a deliberate tactic, or simply because they are yet to establish more details.

What powers does the FCA have in an investigation?

The FCA have a range of powers provided to them under the Financial Services and Markets Act 2000 (FSMA).

These include:

  • Power to require information and documents from firms
  • Power to require reports by ‘skilled persons’
  • The power to gather information and appoint an investigator
  • The power to search and seize documents or information

The Act also grants the FCA various enforcement powers, namely:

  • The ability to withdraw a firm’s authorisation
  • The ability to prohibit specific individuals from conducting regulated activities
  • Suspension from regulated activities
  • Issuing fines
  • Public announcements of disciplinary action
  • Applying for injunctions, restitution orders and winding-up orders
  • Bringing criminal prosecutions

What are the FCA Conduct Rules (COCON)?

The FCA’s individual conduct rules set minimum standards for individual behaviour in financial services. The five rules are:

  • You must act with integrity
  • You must act with due skill, care and diligence
  • You must be open and cooperative with the FCA, the PRA and other regulators.
  • You must pay due regard to the interests of customers and treat them fairly.
  • You must observe proper standards of market conduct

What is an interview under caution by the FCA?

If it is suspected that a criminal offence has taken place, an interview under caution may take place. These interviews are subject to the safeguards set out in the Police and Criminal Evidence Act Codes and will be ‘voluntary’ for the suspect.

You are free, and strongly recommended, to have legal representation present during interviews under caution. Anything you say in these interviews can be taken as evidence.

Contact our FCA investigation solicitors now

For urgent specialist advice, representation for a FCA investigation interview, or to speak to us confidentially about prosecutions arising from an FCA investigation, please do not hesitate to get in touch.

You can contact a member of our dedicated team of FCA investigation solicitors in London, Birmingham, and Manchester by telephone on:

Or email: solicitors@jdspicer.co.uk

Alternatively, you can fill out our quick online enquiry form, and we will get back to you as soon as possible.

24/7 legal representation for Financial Conduct Authority investigations

Please get in touch for a free initial consultation with one of our expert FCA investigation solicitors, as well as for immediate advice and representation.

For immediate representation and advice, you can contact our Emergency Number: 07836 577 556 and we will provide you with the urgent assistance you need.

How can we help?

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      • Umar Zeb
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      • Lisa Nicol
      • Managing Partner - Head of Crime & Serious Cases
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